18th Annual Compliance & Ethics Institute 2019

#P07

P7: 100+ Years of Business Ethics: Learn About the Future from Masters of the Profession Steven Priest, President, Integrity Insight International Carrie Penman, Chief Compliance Officer and Senior Vice President, Advisory Services, NAVEX Global Jeffrey Kaplan, Partner, Kaplan & Walker LLP Edward Petry, Ed Petry, Ph.D., Senior Advisor, NAVEX Global View Description

• "Those who cannot remember the past are condemned to repeat it." Carrie Penman, Jeff Kaplan, Ed Petry and Steve Priest have worked internally and with clients for over 100 years. They have made a lot of mistakes and had quite a few successes.
• Steve will moderate--drawing out the most valuable lessons to help you navigate the challenges of 2020 and beyond
• This interactive session will answer your most pressing questions. No matter what your situation is, one of our panelists will most certainly have experienced something similar, and draw on their expertise to help you.

General Compliance 107

#P08

P8: Investigations Workshop (Morning Session: Parts 1-3) Albert Gagne, Former Director, Ethics & Compliance, Retired Latour "LT" Lafferty, Partner, Holland & Knight Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. View Description

• Part 1: Beginning the Investigation and Interviewing the Reporter. This session addresses the importance for a formal Investigations Policy and focuses on intake fundamentals for getting as much information as possible from the reporter.
• Part 2: Planning the Investigation. This session will focus on determining the precise allegation and making the investigation plan and strategy for conducting the investigation.
• Part 3: This session will explore the critical role of document in the investigation process. Internal investigators should be able to identify and explain the purpose of documentary evidence.

General Compliance 108

#P15

P15: Lessons from the Accidental Compliance Professional Roy Snell, Strategic Advisor, SCCE & HCCA Jenny O'Brien, Chief Compliance Officer, UnitedHealthcare View Description

-How to Handle "The Big One" -A Guide to Being Delightfully Honest -Compliance Activism Belongs in a Rodeo -Study Your Failures to Find a Better Way

General Compliance 206

#P16

P16: Investigations Workshop (Morning Session: Parts 1-3) (con’t) Latour "LT" Lafferty, Partner, Holland & Knight View Description

• Part 1: Beginning the Investigation and Interviewing the Reporter. This session addresses the importance for a formal Investigations Policy and focuses on intake fundamentals for getting as much information as possible from the reporter.
• Part 2: Planning the Investigation. This session will focus on determining the precise allegation and making the investigation plan and strategy for conducting the investigation.
• Part 3: This session will explore the critical role of document in the investigation process. Internal investigators should be able to identify and explain the purpose of documentary evidence.

General Compliance 207

#P23

P23: Grant Fraud: $700+ Billion in Potential Risks Kenneth Dieffenbach, Special Agent in Charge, U.S. Department of Justice OIG View Description

• The Federal Grant Process: what you need to know about the basic parameters from application to award to implementation to oversight mechanisms.
• What Can and Does Go Wrong: the common grant fraud schemes and key liability areas that every grantee must address.
• Grant Fraud Prevention: practical tips on how to proactively protect your organization.

General Compliance 214

#P24

P24: Investigations Workshop (Afternoon Session - Parts (4-6) Albert Gagne, Former Director, Ethics & Compliance, Retired Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. View Description

• Part 4: Taking Effective Interviews: This session will focus on the difference between an interview and an interrogation. Attendees will also gain a better understanding of the importance for documenting your interviews.
• Part 5: Preparing the Investigation Report. This session will focus on the importance for documenting key facts in the investigation report.
• Part 6: Question & Answer Panel. This final session provides an opportunity for attendees to leave no stones unturned by asking any questions on conducting internal investigations. This session is lively and highly engaging

General Compliance 215

#P31

P31: New Beginnings: Starting your Compliance Program and What Needs to be Included Debbie Troklus, President, Troklus Compliance Consulting Sheryl Vacca, SVP/Chief Risk Officer, Providence St. Joseph Health View Description

-Discussion on the basic elements of a compliance program. -Overview of the challenges and opportunities in developing a compliance program. -Identifying ways to get “buy in” for the compliance efforts.

General Compliance 222

#P32

P32: Investigations Workshop (Afternoon Session - Parts 4-6) (con’t) Albert Gagne, Former Director, Ethics & Compliance, Retired Latour "LT" Lafferty, Partner, Holland & Knight Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. View Description

• Part 4: Taking Effective Interviews: This session will focus on the difference between an interview and an interrogation. Attendees will also gain a better understanding of the importance for documenting your interviews.
• Part 5: Preparing the Investigation Report. This session will focus on the importance for documenting key facts in the investigation report.
• Part 6: Question & Answer Panel. This final session provides an opportunity for attendees to leave no stones unturned by asking any questions on conducting internal investigations. This session is lively and highly engaging.

General Compliance 223

#107

107: Embracing Digital Transformation in Ethics & Compliance Kristi Kevern, Senior Managing Director, Ethics & Compliance, Dell Technologies View Description

• Companies from every sector are experiencing disruption in their industry and are having to transform their businesses using new digital tools and advanced data analytics.
• Ethics and Compliance organizations need to start focusing on a full scale digital transformation strategy of their own, connected to their company's journey but also maximizing new capabilities in the E&C space.
• The Dell and GE CECOs will talk about their own journey, how they are not only embracing this change but prioritizing resources to drive greater productivity, more dynamic ability to identify risk and target just in time information and controls.

General Compliance 307